analyze, the SEC imposes certain requirements on the issuers covering (1) investor rights protection and fair treatment for all shareholders, (2) qualifications, duties and responsibilities of directors
Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The
submission of an incorrect 56-1 One Report for the year 2022 and the disclosure of false information or concealment of material facts that should have been disclosed, in violation of Section 56(3)(4) and
agreed to or colluded with five other persons to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing that YCI shares were traded
performance of duties, interfering with investors? assets in concealment and creating false evidience in violation of or non-compliance with the notifications of the Capital Market Supervisory Board concerning
market conditions. The evidence showed that Sagha?s continuous trading activities in concealment had misled and lured the public to trade FOCUS, IFEC and RCI shares, and that trading orders were matched
July 31, 2007, the SEC probed into the case and found that {A}, {B}, {C}, {D} and {E} had colluded to trade RICH shares in concealment through 15 related persons securities trading accounts. They traded
professional standards to exercise prudence and due care in submitting information and documents to the SEC. The information and documents must be correct and complete without any concealment, deletion or
complaint filed with the Department of Special Investigation on September 9, 2014. They traded UKEM shares in concealment on a continual basis, inflated and stabilized share price, and matched orders within
manipulate the share price of S.E.C. Auto Sales and Services Plc. (SECC) during September 12- November 24, 2008. All said trading activities took place in concealment to mislead the public to believe that the